Lessons in Archiving for Public Sector Agencies

Smarsh sat down with Don DeLoach, former Chief Information Officer for City of Tallahassee and consultant to local government firms, to discuss how public sector organizations can respond more efficiently to open records requests. In part one of a three-part blog series, DeLoach offers insight on the archiving challenges faced by many agencies today, and provides thoughts on processes and solutions that will lead to a better outcome.

What types of content should public sector agencies archive?

All content is important, but electronic communications such as business-related social media posts, websites, email, and text messages are increasingly requested by the public under open record laws. All of these types of communication can be considered public record, and must be retained. Specific recordkeeping requirements may vary by state, but all agencies are obligated to have a system in place to search for and present requested records under the federal Freedom of Information Act (FOIA).

One thing agencies must be aware of is the difference between transitory messages and business-related communications. Transitory messages are personal in nature, even though they happen on the corporate network—such as inviting an employee to lunch. However, emailing a working lunch invitation to colleagues to discuss a specific project is usually a business-related communication that can be considered public record. At times, there is a gray area where the two types of communications unintentionally overlap, so it’s best practice to retain both for later search and review as needed.

Unfortunately, many agencies rely on administrative staff or multiple records managers to decide which communications need to be retained, and where and how they should be stored. This manual and inefficient process can quickly lead to records being lost or destroyed that may later be required during a public records request or e-discovery process.

How does this manual process specifically affect an agency’s ability to respond to records requests?

Relying on a manual process for your archiving needs invites problems. Although it may seem cost effective to store copies in file cabinets and hard drives throughout multiple departments, it becomes a big challenge to track down all of the information needed to recreate a complete conversation when responding to a public records request. A manual process also often creates a backlog of responsibilities for administrative, IT, or legal staff who may be reallocated from their regular duties to produce records—making it difficult to attend to other organizational priorities.

There’s a popular myth among government organizations that if you don’t physically retain the communication, you can’t get in trouble for failing to produce it. This is false. Electronic records always leave a footprint, and losing or deleting communications doesn’t relieve agencies of their responsibility to respond to records requests. Remember, records must be produced for review and look exactly as they did when they were shared, meaning they must be fully intact and remain unaltered when presented. This means all your electronic communications—transitory, business-related, and all points in between─ must be archived. An archive is the foundation that allows you to respond to requests and produce records with confidence. Without it, a failure to produce records may lead to fines and sanctions if FOIA and local laws are violated, and a breakdown in trust between an agency and its public.

How can agencies ensure they properly retain their business communications?

It’s really essential to invest in a technology solution that automatically archives electronic communications for your organization, including (but not limited to) email, social media, instant messages, and text messages. The solution should allow your designated records managers to search for and find information quickly—without placing undue strain on internal resources. It should also greatly reduce the time, effort and cost required for your organization to respond to records or e-discovery requests.